Financial Advisor

Financial Advisor Job Description Template

Our company is looking for a Financial Advisor to join our team.


  • Explore clients’ overall financial situation, investigate their needs and suggest solid financial plans;
  • Ensure compliance with all industry rules and regulations;
  • Present potential solutions using our suite of products and services;
  • Comfortable in a public speaking role educating clients at estate planning workshops;
  • Enjoy working with the senior market;
  • Be goal oriented;
  • Showcase a background in building strong relationships and delivering superior client service;
  • Cannot have been a financial advisor soliciting securities-based business or have a securities-based book of clients in the past 8-10 years;
  • Develop and execute a robust marketing plan to generate a high volume of new leads, maintain your lead volume and, ultimately, acquire new clients;
  • Achieve or exceed program standards. Receive additional compensation opportunities and recognition tied to your results;
  • Sets and keeps consistent office hours at designated branch(es);
  • Advises customers regarding the advantages and disadvantages of different financial products;
  • Identifies and develops relationships with Wholesalers;
  • Work with Financial Center Managers to identify and leverage cross-sell opportunities;
  • Follows the rules and regulations set forth by the credit union, FINRA, SEC and the.


  • Excellent communication, presentation and negotiation skills;
  • Enjoy working with the senior market;
  • Goal oriented;
  • Polished and upbeat demeanor;
  • Comfortable in a public speaking role educating clients at estate planning workshops;
  • Life Insurance License;
  • Bachelor’s degree;
  • Track record of exceeding expectations as well as assigned goals and targets;
  • Experience coaching, influencing and developing individuals in a team environment;
  • Client-first attitude;
  • Position requires travel to different branch locations. Must have a valid CA Class C license;
  • Financial planning/wealth management acumen, judgment and experience;
  • Must be authorized to work in the United States;
  • Bachelor’s degree from an accredited college/university;
  • Will help the right candidates get the licenses they need.